Listening as an Emic/Etic Process in the Context ofObservation … · 2020. 2. 15. · Operable emic-etic definitions according to Lett (1990: 130-1) The emie construction aims to

34 . the world of music 35(1) - 1993

Listening as an Emic/Etic Process in the Context ofObservation and Inquiry

Max Peter Bauman

The spiral feedback and reciprocal reinforcement between the con-sciousness as the internal construct of perceptions on the one hand and as the externally located construction of that which is perceived on the other are a constituent part of the general process of cognition. The circularity between the act of perception (as the subjectively and culturally imprinted interpretation of the world) and that which is perceived (as the delimited ob-ject of the given reality-construct)-that is, the linkage between observer and observed-has a fundamentally illusionary nature which only becomes apparent when the reality concepts of the own culture are confronted with a basically "other" set of reality concepts. The individual conducting research outside his own culture area takes his point of departure from the area of his own culture and first analyzes the strange unknown with a transcultural, that is, an etic set of concepts. methods and cultural theories. Subject, abject and method are apriori determined by the given cultural and scholarly-his-torical tradition. But etic construct continually falls under suspicion as bring-ing along with it the own "emic" prejudices. Only in the continuing process of differentiation between internal and extern al points of view. between "emic" and "etic" perspectives, is the reflexivity of both viewpoints recognized. Just as the concept of reality remains a flowing construct in the reflexivity be-

Baumann. Listening as an Emic/Etic Process . 35

tween subject and object, so are definitions of "emic" and "etic" dependent upon their more "narrowly" or "broadly" fixed horizons. The principles of dia-logue between dynamic internal and external views seem contradictory and yet at the same time complementary, and constitute the flowing polarity be-tween subject and object, perceiver and perceived, method and subject matter, own and other categories. The dialogic (Dialogik) proceeds in a con-tinually changing dynamic within an oscillating web, in polarities from indi-vidual to group, from "in-group" to "out-group" and in continuing dichoto-mies of an .irl!r.a- and lntm-cultural nature (Baumann 1989:89-90). Reality as a construct of cognition is neither emic nor etic, but rather the principle of dialogue in the continuous differentiation of numerous and hierarchically or-dered internal and external relationships. In the dissimilarity between differ-ent points of view, between the internal and external points of view, a spiral of progression emerges which makes both polar viewpoints relative. In the end, one can recognize that which began as separated is also being bound together, or as summarized by Pike:

When I act, I act as an insider; but to know, in detail, how I act (e.g., the mus-cle movements), I must secure help from an outside disciplinary system. To use the emics of nonverbal (or verbal) behavior I must act like an insider; to analyze my own acts, I must look at (or listen to) material as an outsider. But just as the outsider can learn to act like an insider, so the insider can leam to analyze like an outsider (Pike 1990:34).

The two terms "emic" and "etic" mutually determine each other through their complementary system of reference (cf. Pelto & Pelto 1978). Their epis-temological meaning lies in their reciprocal delimitation and they demon-strate selective perception in their polar acts of focusing. The differentiated use of these terms in the literature indicates that a simple consensus over their application is scarcely possible, since this cannot be attained in a nor-mative-essential sense (cf. Headland, Pike & Harris 1990). "In any case, what is certain-and intriguing-is that there are many meanings today for emics and etics" (Headland 1990:23).

For these reasons this paper will take over the operational definitions as they have been suggested by Lett (1990: 130) in order to investigate in the case of musical "hearing," "observation" and "inquiry:"

(1) how these definitions could be applied in an ethnomusicological ap-proach,

(2) how they function and

(3) in what ways can they make a positive contribution?

36 . the world of m usic 35( 1) - 1993

Lett's definitions of "emic" and "etic" also illuminate the complementary eharacter of their conceptual make-up, but go further in stating that "any etic construet must be applieable cross-eulturally" (ibid.:139). The two defini-tions can be read as folIows, in a synoptieally organized overview:

emie constructs etie eonstructs

aeeounts. descriptions. and analyses expressed in terms 01

the eoneeptual schemes and categories regarded as

meaningful and appropriate

by the native members 01 the eulture whose beliels and behaviors

are being studied

by the community 01 seientilie obseNers

Fig. 1. Operable emic-etic definitions according to Lett (1990: 130-1)

The emie construction aims to research the "folk system," that is the coneeptual systematization of dates. facts and events developed by the eth-nie group itself as the "insider view," while the etie construetion takes as its goal the development of an "outsider view" as a conceptual tool for analyti-cal purposes which in intercultural comparisons can provide information coneerning the status of potential universals in the theory of culture. Nettl has summarized the difference between emic and etic as "two sides of a coin," and suggests that emic and etic viewpoints might better be labeled "the people's and the anthropologist's analyses" (Nettl 1983:154).


The "insider" and "outsider" views refer in their approach to all levels of ethnographie work: to the processes of obseNation and inquiry as weil as to the interpretation of events, facts and behavior (Baumann 1987:39). As in an optical illusion, the two si des of the same reality are represented, though from different focal points. The contrasting description, which is comple-mentary to the other pole, will also always be necessary. Either one orients oneself toward the pieces or one begins to coordinate towards the whole. Transcendent understanding is in the end based upon both complementary views (Fischer 1990:21-2).

1. From False Listening to Corrective Listening: Hearing as Insider or as Outsider

Encounters with the tonal systems of other cultures have always shown how, using the own reference system (e.g., the European scale), "strange" inteNals and tonal sequences have been either misjudged as "artless-primi-tive" or have been "corrected" to sound like the own conceptual system. In this way, early European music history devalued traditional music cultures as "music of the primitives" or "the beginnings of music," because the histo-rians, who often held evolutionary world views, applied their own aesthetics as a measuring stick for the Other. Conditioning and stereotyping based on the own cultural patterns of listening can be extremely rigid towards other sounds. I experienced a good example of this with a student who was a highly trained musician and who had absolute pitch in the Western context. Cut off from the listening experiences of other cultures through her practical, European-oriented music making, she reacted vehemently when first con-fronted in class with a makam. The approximate three-quarter tones (160-70 or 130-40 cents) and the slightly smaller seconds (around 80-90 cents) sounded, according to her absolute pitch (with reference to the Western tempered system) "out of tune" and "false" to her. It was difficult to make the student understand emotionally or intellectually that she had expressed, with her absolute pitch, an ethnocentric false listening, and that she had compared the tones of the Turkish scale to an internalized "false" gauge.

When the gap between the listening customs of culture A and culture B is less evident, it is still possible for an etboocentric correctiye listenjn(J to occur. In this process a small difference to the own conceptual system is perceived and, when the deviations are not too obvious trom one's own emic


Fig. 2. Facsimile "Air Suisse appelle le Rans des Vaches" ("Kuhreigen") as transcribed by Jean Jacques Rousseau (Dictionnaire de la Musique, 1768, Appendix N)

E ~

r~! r r ~ Jr hin

...... ____ : __ f7\ ,.,,,8.,[ «

'p cU I i

r r~ ! §t r J

ITr p~ i P?t .. . J r rJ Ex. 1. "Air Suisse appelle le Rans des Vaches" ("Kuhreihen") according to Rousseau

(1768, Planche N: Opening Seetion, transposed to G) in synoptic comparison with the beginning of a melody variant of "Frutt Chueh-Reihe" (1910-12) according to Gassmann (1961:202)


viewpoint, the own-eultural referenee system is simply slightly expanded. Rousseau transeribed in his "Dictionnaire de la Musique" (1768), for exam-pie, a "Rans des Vaches" (Example 1). The neutral fourth (the so-called "Alphorn-Fa") notated in this transcription was simply given as a sharpened fourth within the C-major seale. In reality, this Alphorn-Fa is aetually a "too high" eleventh partial that lies between Fand F-sharp. One hundred fifty years later, this notation system was slightly broadened using additional dia-eritieal markings, as was doeumented for example in variants of a melodie flourish by Gassmann (Example 1).

As a rule, active eorrective listening and the "fitting" of pitehes and rhythmieal patterns to one's own referenee system are based upon the emic seales and beat conceptions. This "fitting"-itself an emieally determined form of correetive listening-beeomes a gauge whieh then from the outside comes to terms with the Other in an etic way, whieh is a well-known ethno-centric phenomenon. This phenomenon runs like a thread through the his-tory of intereultural pereeption as weil as transcription. The referenee system is, in the case of Rousseau as weil as Gassmann, the European notation sys-tem whieh, as an etically defined perceptual and eonceptual system, seeks to closely analyze an oral, non-literate tradition through visual (literate) means. At the moment, one hardly realizes how the own categories of thought patterns are superimposed over the "other" reality. The "etie" way of listening and seeing that comes from outside uses its own pereeptual and eoneeptual tools, without questioning them as "emie" construets. This is an attempt to understand the "strange" and unaeeustomed in terms of the "own" notational-literary categories; it is

an approach by an outsider to an inside system, in which the outsider brings his own structure-his own emics-and partly superimposes his observations on the inside view, interpreting the inside in reference to his outside starting point (Pike in a letterto Harris; Harris 1990:49).

A similar situation can also be seen in the observation and description of yodel melodies. The neutral third and seventh degrees of yodel melodies of central Switzerland are still widespread in more isolated regions. These are yodel melodies whose intervallic relationships eannot be fitted into a "pre-scriptive" tone system and which therefore also cannot be "correctively" heard "from the outside" in the eontext of a well-tempered system. Such "wild songs" were at first scarcely documented, but rather ignored because they were beyond the capabilities of systematic transcription. They were therefore stamped with the label "primitive" or "exotic," and for a long time were regarded as not worthy of attention. This oecurred also in the simplistic

40 . the wor/d of music 35(1) - 1993

evolutionary construct that was widespread until around 1900, according to which it was believed that such unstable tones and scales bore witness to the early stages of the own, advanced tone system. According to this etic-ideological construct, everything "starting from the beginnings of simple melodies" were advancing steps towards the more complicated forms of the later "Kunstschönen," or fine arts (Adler 1885:9) .

• ~ = 116 Ir }= lOS , }= 116

~ ~ 15'~ • !>. J . bÄ' t\ ~J\ J>C -.-(·,ii±Lt:tt., . . (.) : (5.)1 Jo sä sä sä jo _____ _

J = 100 b Mt ......... , t~mpo , tr (1S") 'd p~) p~]i bp ~t.-t. V ~)i rfi? ~lbJ 'P r\~@W1Z=it.), jo - lu - 0 • u • 0 - u - 0 - u - 0 - u 0 - 10 - lu -lu jo ____ _

(203)

Ex. 2. A Muothata/er "archaic" catt/e call and yodeling me/ody ("Chuereiheli"jKuhreihen) that resists etic "corrective /istening" and cannot be fitted into the tempered system. Singer: Toni Bae/er, Muotatha/ (Switzer/and), 1973 (Baumann 1976:145).

In an investigation of the repertoire of Toni Büeler, I documented several such caHle calls (Chuereiheli), yodel calls and yodel melodies (Jüüzli) (Ex-ample 2). In reply to my re mark that the endings of his Jüüzli had no down-ward glissandos such as were recorded in the first magnetic tape record-ings in Muotathal and as presented in the transcriptions of Sichardt (1939:53-4), the singer answered that this fact was related to the competi-tion judgments of the Swiss Yodelers Association. In the yodeling competi-tions the judges look for the "pure" intonation of tones and that these are steadily held in timbre and volume to the end. When he went to such a com-petition for the first time, Büeler was rounded laughed at for his "sloping" tones and was told that he was not even able to hold a single concluding tone. Noting this to himself, the singer came back the next year to the com-petition and won the first prize-he was so weil able to take over the musical norms brought in from the outside through the music schools (cf. Baumann 1983:53).

When one is confronted with such phenomena as an outsider, it could seem that this example is an intra-cultural phenomenon of yodeling in cen-tral Switzerland. Only upon closer examination does one realize that through the focused, locally conceived view, different musical dialects confront each other which can, in their higher differentiation between insider and outsider views, also be perceived as .i.o1ru:-cultural.

In his film "'Jüüzli' of the Muotatal [Switzerlandj" (1987) Zemp has thor-oughly examined the problem of yodel melody in relation to the neutral third


and seventh degrees. He presents in his analysis the basic conflicting aes-thetic views of the traditional yodeler (insider) against those of the "edu-cated," inter-regionally active Yodelers Association (outsider). The "im-posed etic view" (Berry 1990:90) of the Swiss judges basically demands fram the competition participants the pitches of the C-major scale. The tradi-tional yodelers who continue to use the orally transmitted neutral third and seventh degrees are criticized for singing off-key. Trained singing allows only the tempered C-major scale with the higher fourth degree (the Alphorn-Fa) as an archaie and stereotypical element in the so-called "natural yodel" (Naturjodel). The compulsory norm has become therefore for all practical purposes the "correeted listening" form of the transregional outsider (Exam-pie 3).

~~ t t t

e 11

" Ci e 'j

0 e II 111 IV V VI VII

Ex. 3. "Tone seale" with neutral third and seventh degrees and with the Alphorn-Fa (fourth raised degree), as still used by traditional singers (emie eoneept). The assoeiation singers frained in the tempered system criticize as outsiders, with their "efie coneept, .. the traditional neutral intonation of the third and seventh tone levels and only aceept the stereotypieal Alphorn-Fa in the so-ealled natural yodel melody (according to Zemp 1987).

Under pressure trom the etically determined aesthetic, the emic-tradi-tional view has been maintained in only a few isolated areas. Most yodeling cow herders bow to the rules of judgment and normative view of the many city people and do not want to expose themselves to laughter and ridicule from outsiders as being "untrained" or even "primitive." The singing of end tones of yodel melodies (which in the older tradition either stopped abruptly with agiottal stop or faded away in a rapidly falling glissando) has under-gone this fate. Again, the normative aesthetic brought from the outside-that one should end a melody !ine with an even and relaxed vocal quality-has beeome obligatory for most insiders. The same applies to the traditional reg-ister break, whieh oceurs between the head and ehest voice and which is not allowed by the trained yodelers (Zemp 1987;1988). In this discussion it cannot be overlooked that the confrontation between insiders and outsiders presents the dynamie basis for the intra- and interpersonal as weil as the intra- and intereultural proeesses. The insider view ean adjust itself to the outsider concept and begin to harmonize with it, and vi ce versa. The "in-sider view" can also in so me cases consciously seek cognitive dissonanee with the outsider. Festinger (1978:16-7), however, believes that disso-


nance-that is, the existence of contradictory relationships-is an inde-pendently motivating factor. Humans tend to reduce inconsistency (disso-nance) in order to create consistency (consonance). In the cognitive disso-nance between "insider" and "outsider view," that is between two ways that "do not fit one another," the individual attempts to avoid the further intake of inconsistency. According to Festinger (1978:42), this pressure produces a change in behavior and cognition or else caution in confronting new infor-mation and new opinions. Here lies the basis of the circular structure, which circumscribes the polar points of view as more or less flexible and under-stands conscious "understanding" as the approach and differentiation be-tween emically and etically determined points of view.

2. Aspects of Transcultural Listening

In the opinion of Kubik (1983:363-4), tone system patterns, once en-culturated, are so engrained in an individual that he or she reflexively com-pares and interprets the acoustic stimuli of the outside world with these pat-terns. Once learned, listening habits are probably irreversible in the percep-tion of scales. I tend to doubt whether this is actually so; one can indeed hypothetically assume that a person can enculturate to a certain degree a second musical system. Evidence for this can be found in the case of yodeler Toni BOeler, who could adequately behave in both tone systems and avoid cognitive dissonance in front of each group. In addition, Hood's concept of bi-musicality (1960) and Alan P. Merriam's investigation of compartmentalization among the Flathead Indians (Merriam & Merriam 1967) can also be regarded as evidence of the ability to learn other musical systems. According to these ideas, a musician can move freely between two or more musicallanguages without mixing up the two teaching and learning systems with one another and without penetrating one or the other system syncretically. Especially when two music systems are .D.Q.1 compatible with one another, such as that of the Flathead Indians and that behind the Chris-tian hymns, is it possible for both systems to persist equally, side by side:

In this dual situation the Flathead have kept the two kinds of music learning and activity apart, so that no traces of traditional music appear in Western performance, and no traces of the Western idiom appear in traditional per-formance (Merriam 1971 :315).

Hood as weil considers it possible through "intense imitative practice" to alter the aural perception of Western provenance in its confrontation with another tone system to the point that aural perception is able to free itself


completely from the twelve-tone tempered scale (Hood 1960:57). Based on such reflections, one could distinguish aural perception in both categories of ~ and emjcally suitable Ijstening.

What is interesting in this discussion eoneerning eorrect listening with respect to suitable tone systems is that, from the European-Ameriean view, the "emic" facts are as a rule only validated through tonometric measure-ments. Before the tonometrie measurements of Alexander J. Ellis (1885), the "scales" of other cultures were often simply judged as "wild in nature" or "in-eomprehensible howling." That which was "eultural" in their "tone systems" was first reeognized on the basis of evidenee of empirieal data. This etic view of verification is, however, trom the outset imbued with an "etie-analyti-cal" scientific concept which gives preference to the category of the visually observable over the category of the hearable. The "community of scientific observers" (Lett 1990:131) is still directed by the Western consensus method of "objective" observation knowledge.

However, the fact that this "objective" procedure of tonometric measure-ment was called into question at a later point is shown above all in the rekin-dled discussion concerning the "equidistant pentatonic seale." Empirical tests have shown that among metallophones of the gamelan or African xylo-phones, for example, the "punctually" eoneeived tone placements and pitches cannot be regarded so "one dimensionally." As a result of their com-plex forms of vibration, enharmonic spectra and often "noisy" structures, in-dividual pitches qannot-as Schneider and Beurmann have eonvincingly proven-be established in terms of "any kind of fundamental frequency that is analogous to the structure of harmonie sounds" (Schneider & Beurmann 1990:495, 501). As shown by spectral analysis, frequency cannot be com-prehended only in terms of "pitch." Hearing tests have shown that a pure tone with a vibration of 440 Hz with steadily increasing volume is perceived by individual listeners within a group quite differently. Whereas a tone "ob-jectively" rises for the one listener, another hears the tone in the same "ob-jective way" fall in pitch (Campbell & Greated 1988:71). In addition, tuning aecording to "overtones" (namely, according to the harmonic row) often does not stand up to acoustical verification since-for example in the case of the African xylophone-the art of the tuner distinguishes itself in that he "smoothes" an enharmonie spectrum through the manipulation of wooden keys "until the particularly disturbing components are eliminated and at the same time the desired pitch impression is created" (Schneider & Beurmann 1990:518).

The "universally applicable" cents system introduced by Ellis-an oc-tave is divided into 1200 cents, or a half-tone into 100 cents-can be under-


stood as an "etic construct" in the sense of Lett (1990:131), but it is not in this naive, "one dimensional" manner cross-culturally applicable. "As-sumed" universals of octave hearing lie at the basis of this system, as weil as the "artificial" reference system of tempered tuning. In reference to the latter, it is possible to indicate deviations in cents or staff notes with diacritical sym-bols. In addition, the question arises whether the perception of the octave exists in all cultures as a seemly objective norm of measurement and whether octaves-without (acquired) pre-knowledge-really are so clearly identifiable. It does seem, according to Handel (1989:326) that in almost all cultures the tones that are separated from each other by an octave are mu-sically relevant:

Although the physical argument for the uniqueness of the octave is compel-ling, the actual perceptual evidence is weaker. On the whole, the results of many varied studies suggest that octave equivalence is perceived byexperi-enced musical listeners in all contexts but is perceived by less-experienced listeners only in a musical context and not when using isolated notes (Handel 1989:345). Experiments using recordings of a pan flute ensemble in which paired

instruments play the same melody simultaneously with an interlocking tech-nique, in five parallel octaves have shown me that an unprepared ear cannot immediately hear these "parallel octaves" (cf. Baumann 1990:mus. ex. 3) This is not at all surprising. The pan flutes are very rich in overtones and the individual tones have in their "tone placement" a relatively wide range within an anhemitonic pentatonic as weil. If one explains to the listeners after the first listening in a few words what it was about-how the simultaneous tones were produced and what sound principle underlies them-they say "aha!" and clap their heads, wondering why they had not spontaneously heard these parallel octaves before. This also shows clearly how selective percep-ti on is directly controlled through knowledge and what circular knowledge and listening are like. To express this in a somewhat pointed way, one can say that one hears only what one knows. On the one hand our auditory sys-tem groups the flowing-in sounds in a simple way and governs on the other hand the listening process through memory-guided schemes that compare the sounds with the incorporated knowledge of similar sounds (cf. Bregman 1990:641).

How the issue of the octave principle demonstrates an aspect of the physiology of hearing as weil is shown in the observable evidence that the internal pitch scale is easily "stretched" in relation to the standard pitch scale (Harwood 1976:525). This means that musicians with, as weil as with-out, absolute pitch

Baumann. Ustening as an Emic/Etic Process . 45

use a "stretched" internal scale on which an octave between two successive tones corresponds to a frequency ratio slightly greater than 2: 1 (Campbell & Greated 1988:98).

The octave as a measurement of tuning is, in the end, not simply an objec-tive given. Quite apart from the fact that each pitch perception is also deter-mined through "chroma," subjective as weil as cultural factors provide evi-dence that the concept of a "universally given octave" requires a thoroughly differentiated consideration. It has al ready been demonstrated by Hood (1966) that the concepts of the octave and the inteNal of the fifth are deter-mined by cultural factors. Through the mostly "paired tuning" of the bronze slabs in the Balinese gamelan, beat frequencies that "are close to disso-nance" are produced. One assumes a concept of higher (pengisep or ngisep) or lower (pengumbang or ngumbang) tuned pitches (Hood 1966:30-1; Schumacher 1985:40). Through the beat frequencies is pro-duced a pulsating sound, a "vibrating back and forth" (jenjorog), which re-sults from the slight differences in the simultaneously sounded tones and wh ich can be derived from the cultural concept of "compressed" or "stretched" octave. These stretched or compressed octaves differ accord-ing to the different octave placements:

The tuning of Javanese game/an s/endro and pe/og is based on distinct pat-terns of compressed and stretched octaves with one or more errant tones es-tablishing a contradictory pattern (Hocd 1966:30),

Tjodorda Mas, an informant of Hood, also explains:

The first octave of the panjatiah, an instrument voiced in the third and fourth octaves of the five-cctave range of the melodic instruments, is considered a "central octave," and '" each successive octave high er is tuned a whole or a half penjorog sharper and each successive octave lower a whole er a half penjorog flatter, The degree of stretching and compressing of octaves can be determined from either pengisep or pengumbang instruments because the difference (penjorog) between high and low keys of paired instruments throughout all octaves is a constant factor (Hood 1966:32),

With his investigations, which above all were supported by the "insider view" of informants, Hood proved false the theoretical measurements of Kunst (1949:51-70). He demonstrated that the theory of equidistant inteNals in slendro as presented by EIIis and Kunst did not hold true and that the indi-vidual gongs were not tuned in "pure" octaves to one another. Hood's dis-proving of this theory was above all a result of his experience as a "practi-tioner," that is, from his active music making in terms of his concept of bi-musicality and from his consequent obseNation and questioning of native


musical concepts. He indirectly criticized the theoretical concept of Kunst, whose etic "studies were limited to physical description and therefore missed important features related to musical style" (Hood 1966:30). Hood's emic view led at the same time to a correction of the etically conceived hy-pothesis of Kunst. A striking detail can be found in the fact that Kunst's theo-retical explanation of equidistant tuning was taken over in theory by the na-tive musicians, without having changed the non-equidistant tuning of the tra-ditional practice (Hood 1971 :221-2). This provides evidence that data gath-ered through emic interviews do not necessarily represent factual reality (cf. Harris 1968:567). The argumentation and verification of evidence by Hood occurred however exactly in the context of the differentiation of the emic and etic views that stood in conflict with each other. Hood used in the end the frequency and cents measurements of the "etie" proeedure to eheck the

Baumann. Listening as an Emic/Elic Process . 47

Ag. 3. Circular March, wheel-a-wheel dance. "The Shakers in Niskayuna, religious exer-eises. Possibly drawn by Joseph Becker. From Leslie's Popular Monthly, 1885 (cf. Patterson 1979:266; Andrews 1948:10)

"emically" collected knowledge. In the final analysis, emic and etic listening, obseNation and inquiry must co me together in a differentiated dialogue with one another. Just as the questions of the outsiders bring new formulations of problems to the insider, the etic eftort can be forced to a "course correction" under emically posed questions. Listening is not a one dimensional process but rather a multi-dimensional one that is not only dependent upon the inter-action of the senses but also upon what one says and what one asks (Baumann 1992:123). Each inquiry fragments a holistic view with selective perceptions. The more detailed the selective perceptions, the less secure become the general assumptions, so that McPhee, viewing the etic concept of tonometric measurement, came to the rather sobering conclusion:

No two gamelans are tuned exactly alike, and deviation in what is considered to be essentially the same scale can be great, so that one might with reason state that there are as many scales as there are gamelans (McPhee 1966:36).

46 · theworldofmusic35(1)-1993

musical concepts. He indirectly criticized the theoretical concept 01 Kunst whose etic "studies were limited to physical description and therelor~ missed important leatures related to musical style" (Hood 1966:30). Hood's emlc vlew led at the sa~e time to a correction 01 the etically conceived hy-pothesls 01 Kunst. A str/klng detail can be lound in the lact that Kunst's theo-retical explanation 01 equidistant tuning was taken over in theory by the na-tive musicians, without having changed the non-equidistant tuning 01 the tra-ditional practice (Hood 1971 :221 -2). This provides evidence that data gath-ered through emic interviews do not necessarily represent lactual real ity (cf. Harns 1968:567). The argumentation and verilication 01 evidence by Hood occurred however exactly in the context 01 the differentiation 01 the emic and etic views that stood in conllict with each other. Hood used in the end the frequency and cents measurements of the "etic" procedure to check the


Ag. 3. Circular March, wheel-a-wIleel dance. '7he Shakers in Niskayuna, religious exer-eises. Possibly drawn by Joseph Becker. From Laslia's Popular Monthly, 1885 (cf. Patterson 1979:266; Andrews 1948:10)

"emically" collected knowledge. In the final analysis, emic and etic listening, observation and inquiry must come together in a differentiated dlalogue wlth one another. Just as the questions of the outsiders bring new formulallons of problems to the insider, the etic effort can be forced to a ."course correction" under emically posed questions. Listening is not a one dimensional process but rather a multi-dimensional one that is not only dependent upon the Inter-action of the senses but also upon what one says and what one asks (Baumann 1992:123). Each inquiry fragments a holistic view with selective perceptions. The more detailed the selective perceptions, the less secure become the general assumptions, so that McPhee, viewing the etlc concept of tonometric measurement, came to the rather sobering conclusion:

No !wo gamelans are tuned exactly alike, and deviation in what is considered to be essentially the same scale can be great, so that one mlght wlth reasan state that there are as many scales as there are gamelans (McPhee 1966:36).

48 . the world of m usic 35(1) - 1993

3. Cultural Subjectivity or Listening with the "Inward Ear"

Emically adequate listening, that is, listening with the concepts and cat-egories of a specific culture, assumes in an emphatic way the understand-ing of the corresponding "world." The traditions of listening as an "inner vi-sion" and of perceiving of voices, reeited texts or "heavenly songs" are manifested in almost all the great cultures, especially through their shamans and religious founders. These traditions throw not only a particular light on a speeial world view, but also on a large share of each culture's culture-inher-ent subjectivity of auditory impressions and visions. Mechthild von Magdeburg listened in her religious visions "with the ears of my eternal spirit" ("mit den aren mines ewigen geistes"), and she was instructed to write down what she heard. Mohammed reeited at the command of an angel the verses of the Koran, which had previously been unknown to him; the Saint Yared heard "in the heavens the song of the angel," Saint Gregory wrote down melodies under the impression of spiritual inspiration, the Ti-betan yogi and mystic Milarepa heard in an enlightened state of conseious-ness the "music of the spheres." This "subjectivistic" heightened sense of hearing as a tradition of the inward voice (cf. Baumann [forthc]), which usu-ally is a result of an altered state of consciousness and through which com-plete songs, texts and books have been transmitted, seems to appear in al-most all cultures. From the culture-imminent view, the inner voices are gen-erally rooted in existing belief concepts. The high degree of "emically deter-mined" subjectivity and individuality of these men of "heightened listening" (Hellhörigkeit) suggests that the intercultural concept of "emic" view itself be reexamined. This is because, as a rule, it is "abnormal" people who begin to take up a culturally prominent place in a society and to found a new tradi-tion. Because of their strong subjectivity, their "emic" concepts are not fur-ther questioned, but rather either accepted as "God-given" or-when not accepted-thoroughly "damned."

Gospels or hymns, for example, were received by the Shakers in the 19th century through the help of a "medium" for godly inspiration. Many "gift songs" (Patterson 1983), "songs in unknown tongues," "circular dances" (Figure 3), "Ietteral notations," and "floral gift drawings" were received in vi-sions in an altered state of consciousness around the end of the 1830s. "Spiritual beings," deceased Shakers, Mother Ann, Jesus, "God Almighty," "Holy Mother Wisdom," even "native spirits" began to appear to individual Shakers and to instruct them in auditory and visual visions to transmit their "messages" or spiritual songs to the community (Patterson 1979:25, 265, 316-7, 326).


Fig. 4. "Oe Muder's Song:" Indian song in "tongues" and spirit writing in a letter. Shaker Letter Box, New Lebanon, Feb. 2, 1845 (Cook 1973:106)

50· the war/d af music 35(1) - 1993

This song was sung by an angel to Z. P. April 22nd 1939. George Washington was present & said, if he had heard it sung at that day, he should have bowed his heart in thankfulness to God. The angel had a very singular trumpet with two branches cu ried one under each wing; & the mouth of it, from whence the sound issued, was in front of the breast, & by pressing the branches it caused it to sound. Z P did not retain the words nor the song when she heard it sung. But on [Thursday] the 25th the words were revealed to her; and she was told she would receive the song in dream. On Monday the 29th, feeling unwell, she laid herself down and fell asleep, and in her sleep the song was given to her (Patterson 1979:25).

Such cases 01 "heightened listening" inspiration, received while in a state 01 altered consciousness, are known in almos\ all cultures. Shamen 01-ten hear songs in dreams or in trance, experienced in astate of higher inten-sity and received through a "helper spirit." Altered states 01 consciousness are induced through various techniques, such as controlled breathing, meditation, dreaming, lasting, dancing, drumming, drugs, etc. The Sioux In-dian Brave Bullalo testilied that the dream song "A Buffalo said to me" (Ex-ample 4) was brought to him Irom the spirit 01 the chiel buffalo in his first dream, as lollows:

When I was 10 years old, I dreamed a dream, and in my dream a buffalo ap-peared to me. I dreamed that I was in the mountains and fell asleep in the shade of a tree. Something shook my blanke!. It was a bUffalo, who said, "Rise and follow me." I obeyed ( ... ) The chief buffalo told me that I had to represent them in life (Densmore 1972:173-4).

Voice J = 69 r------------------------------------,Ir--

Wa - hi - na - wa - pu, kte wal) ma - yalJ-ka yo oe yo wa-

----------------------------,",r--------------

hi-na-wa-pU:lktcW.:.l1J - ma-yalJ-kayo he yo wa-hi- na-wa-pir]ktewal)

ma - Y.:.ll}-ka yo he yo ta-tal) - ka wal) he-ma - ki ya

1 r ~ 11

be yo wa - hi - ma·wa - piz) kte wal) ma - yal]-ka yo be yo

wahi'nawa'pif) kte waf)ma 'yaf)ka ya tatan'ka wan hema'kiya

Baumann. Listening as an Emic/Etic Pracess· 51

Words I will appear behold me a buffalo said to me

Ex. 4: ':4 Buffalo Said 10 Me," dream song sung by Brave Buffalo (Densmore 1972:174).

Comparable (emie) eoneepts 01 listening and 01 song inspiration are also lound among the Australian Aborigines. The musician and painter Alan Maralung (ca. 1925-1990), who eame Irom Barunga in northwestern Aus-tralia, reeeived his wangga songs Irom two spirits (wahru): Irom a small bird bunggridj-bunggridj and Irom Balandjim~ the spirit of a deceased songman. The wangga songs were transferred to him in astate 01 heightened aware-ness, that is, in "dreamtime:" "Boy, you listen. You might be Irightened. Are you asleep?" Balandjirri announees himsell in this way in his dream: "We've goI to show you this song, Minmin Light." And Balandjirri as weil as his "son," the didjeridu player, sing the wangga song to him in his dream and warn him at the same time not to lorget the song: "I sang this wangga lor you, !t's yours" (Marett & Barwick [lorthc):12-3).

What lor the shaman is the "helping spirit," is lor the Quaker the "still small voice within," lor the Shaker the "Mother Wisdom," lor the Hindu the "inner guru," lor the eandomble dancer the orixa, lor the Christian the "Holy Ghost," for the Muslim the inner truth (/:IaqTqah), lor the Zen Buddhist the "sound 01 one hand clapping," lor the Jung psychologist the "inner teacher" Philemon, lor the representative 01 "New Age philosophy" "channeling"-and lor the materialist, however, simply neurochemical fireworks.

When one presents such a materialist with a case from an "emically" prejudiced report, such as is described for example in psychiatry, one be-comes aware that the etic-empirical diagnosis of these and similar eases re-main highly problematical. An organist and organ-builder (H. L., born 1889) was labeled, lor example, a ease 01 advaneed paranoia. His illness, ex-pressed through a steadily maintained state 01 delusion, relerred to musical events. He received messages Irom the Other Side; his music, he said, was sent Irom God and he had an undetectable "para-anatomie" sending and receiving device under his diaphragm. His body was a lorm 01 cosmic organ (Figure 5). The patient wrote an essay about music entitled "Toward the Rec-ognition 01 the Human Body as the Earthly Temple 01 God." He said that he was in contact with a soul that had lormerly suffered and that now lollowed a


Fig. 5. Sketch ot a schizophrenie, "Towards the pereeption ot the human body as the earthly temple ot God": "Rotating Spindie " as "Naval point ot the World"; "Tender listening to voiees trom the other side" (Perler 1969:233)


path high above the earth in the vicinity 01 God. This spirit brought to him "tender listening to voices lrom the Other Side and also 01 music," in which correct breathing technique played an important role (Perler 1969:225, 233-5). As a composer, the patient was only the receiver 01 godly "music dicta-tion." The musical inspiration 01 numerous improvisations on the piano was expanded to the supematural-godly. As a musician, the patient became conspicuous belore he lell ill because 01 his unique interpretations 01 Bach, "in which he, in sound as weil as in rhythm, undertook astonishingly arbitrary deviations" Ubid. :233).

From the materialistic-empirical and "etie-transeultural" viewpoint 01 or-thodox psychiatry, and with the methods 01 this arbitrary level 01 obseNa-tion, most religious lounders would also probably be diagnosed as mentaJly "siek." This would be particularly so in cases that have been abstracted Irom the ritualization 01 context or Irom the eontext 01 their ritualization. "Emic" subjectivity and its individual spectrum within a specilie eultural eontext as weil as within a conceptual eontext 01 altered states 01 conseiousness be-comes searcely eomprehensible Irom the etic-empirical viewpoint 01 an indi-vidual culture and cannot be taken seriously in this way. It is only with an etic-transcultural concept coming Irom outside that "inward listening" can be newly addressed in comparison to many diverse (emic) ideas. It appears that a wide spectrum 01 consciousness lies between the pathological "hear-ing 01 voices," the imagination and the subjective reality 01 "musical channeling," between schizophrenia, depersonalization, role playing and multiple personalities, and between shamanistic, religious and meditative spirituality (cf. Evans 1989). In practical terms this means that the interpreta-tion 01 such phenomena is lor the most part determined through personal beliels and philosophy or through a personal world hypothesis. This applies both to the obseNers as weil as to those obseNed. Most scientists, how-ever, still accept the unquestioned consensual assumptions 01 their culture or 01 their scholarly community and interpret their world through them (Walsh 1990:135):

Phenomena relevant to an understanding 01 consciousness such as myth, dreaming, vision quest, healing. trance states, and so lorth, which were once thought to be marginal to the ethnographie enterprise, have gradually be-come 01 prime concern to anthropologists, both in lieldwork and in the con-struction 01 theory. This development, combined with an inherent tendency within the discipline to consider societies, eultures, and persons lrorn a holis-tie point 01 view, places anthropology in the lorelront of diseiplines able to give credence to a view 01 consciousness that is at the same time neurocognitively processual. nondualistie, and transpersonal (Laughlin. McManus & d'Aquili 1990:5).

54· the worldofmusic35(1)- 1993

Fig. 6. "People stunned by the drum". An 'Eskimo' drawing 01 an audience entranced by drumming by Luke Anguhadfuq, Baker Lake, 1972 (cl. Walsh 1990:175)


4. Towards Observing, Questioning and Interpreting That Which Is Heard: Reflections on the Notative or Intentional Method of Obser-vation

What is heard is in many cases dependent upon what one sees or, said another way, when one does not see certain processes, these will also be heard differently. Hearing and seeing are internally interlinked. According to Bregman (1990:652), "vision" and "audition" showa certain similarity to one another and "vision" can also result in sounds being differently perceived, and vice versa. It seems that, already at birth, seeing is related to hearing, and hearing is related to seeing. The sense of vision olten understands tones differently through the "absorption 01 patterns of movements" by musi-cians (cf. Kubik 1973:173) as when the sounds come abstract1y over loud-speakers, without any visual support. The selective hearing of an instrument within the complete sound body of an orchestra and its specific extrapola-tion through listening is more successlul when it is supported by seeing and concentrating on the individual musicians who bring out the tones. The ear may be able to dissect complex polyrhythmic or cross-rhythmic patterns into their simpler components-or at all~nly when (for example in African drum music) it is supported by visually interpreted movement impulses. Schlager, among others, reports about musicians from Bali who literally lead beginners by the hand until the music "sits" in their hands. A Balinese re-lates: "My head does not remember the melody anymore, only my hands" (Schlager 1976-1:23). Seeing, feeling, tasting, even smelling can structure listening. I once heard a student say, while awaiting his dreaded flute les-son, "It stinks here Iike music!"; he had associated music with the specific smell of the room where his weekly torturous lessons took place. Broadly un-derstood, all senses participate in Iistening interactively. A topic olten gains importance simply through locusing on specific areas such as "pitch," "tone color," and "rhythm" which may be important in the empirical-etic view, but perhaps inadequate in terms of "emic" understanding. That such inquiry is fruitful can be traced to the "etic" concept which is-as Lett says-cross-culturally applicable. This "etic" concept emphasizes less what is in the head 01 the individual musician as "emic" knowledge, but rather questions in which ways "emic" knowledge differs in various cultures, at which points analogous phenomena appear and how these can be transculturally ex-plained.

Fundamentally, however, in each case 01 fragmented questioning we must take the interaction of the sens es as an assumption, since listening can also be linked with colors, with height and depth, with thaI which precedes


and that which foliows, with smoothness and roughness, and with joy and sadness, only to name a few qualities. Listening can be synaesthetically re-lated to visual, spatial and temporal impressions, as weil as with tactile, smell- and taste-related perceptions (Baumann 1992:123-4). And all these sensual perceptions are themselves modeled by the emic-etie dichotomy of insider or outsider understanding. To what degree this synaesthetic listen-log is different in individual people and how it is formed in different cultures remains open as a set of subjective, intra- and inter-cultural questions. In general it appears that each emically as weil as etically posed question be-comes highly complex in a holistic context as long as one does not limit him-self from the beginning to only fragmented aspects.

Two paths have been principally demonstrated for the interpretation of culture. Either I ask about etie-transcultural and generalized knowledge, wh ich uses comparative methods of observation and questioning on differ-ent cultures, or I am interested only in culture-inherent lines of questioning, according to the dictum that what interests me is only what is going on in the heads of the musicians and singers. This concept of "emic analysis" only provides evidence at the beginning for an "idiocultural valuation and conceptualization" (Si mon 1978:36), or perhaps for only a local tradition, if not only for an individual musician. However, at the moment when the inves-tigation moves into quantification, the proeess is usually already eontrolled byan etic principle of questioning and observation which is no Ion ger based on a culture-inherent principle (cf. Masson 1981). The emic process eontrib-utes essentially to the broadening of the etic-analytic framework of observa-tion and inquiry:

In other words, while elies ean be a direet me ans for camparison, emies ean-not be eompared directly. In this case, however, emics can give an important indieation or orientation to etics (Yamada 1980:189).

Furthermore,

since data gathering in the field should be evaluated from a pragmatic point of view in terms of usefulness and credibility, the problem lies not in which model, emic or etic, to use but in how 10 integrate them in order to collect ef-fective and reliable information (ibid.:188).

The data gathered through a qualitative process about the folk taxonomy in no way excludes the quantification methods of a cross-cultural and analyti-cal taxonomy. Fischer and Zanolli (1968) have defined these two fundamen-tal theoretical methods of ethnography for the presentation of a cultural im-age as being (1) on the notative and (2) on the intentional level of observa-tion. These basically correspond to the division between etic (transcultural)


and emic (culture-inherent) ways of observation. 80th authors insist that the notative observation, measurement and notation of empirical data should not be "matted" on the level of ethnography with the intentional data of cu 1-ture-bearers themselves.

On the notative level of observation the observer classifies all new phe-nomena at the moment of observation according to the own pre-given crite-ria 01 knowledge, that is, essentially in terms 01 his culture or his tradition of scholarship. Musical instruments, lor example, are immediately categorized according to the Hornbostel-Sachs system, without asking whether this sys-tem corresponds to a culturally inherent categorization. The conceptual de-scription of material phenomena and of musical ways of behavior are di-rected toward the current criteria and scholarly paradigms of "observable" facts. Scales are identified, lor example, as pentatonic and described with-out clarifying whether this concept of conte nt is at all relevant in the culture being investigated. Pitches are identified as being "high" or "Iow" according to a framework of perception and conceptualization that has been estab-lished in the ethnomusicological scholarly tradition and its language. In the beginning 01 notative research, the own language system 01 perception and conceptualization is "thrown over" the world view of the loreign culture. The methods of a notative level 01 observation implies the (at first naive) concept of a possible intersubjective verification of observation through simple ac-ceptance and rejection 01 statements on the basis 01 watehing, listening etc. However, as long as the postulate of intersubjective verification is not interculturally broadened and understood, etically conceived "observation" will remain in its own way "ethnocentric."

In contrast to this, one attempts on the intentional level of observation above all to comprehend particular musical concepts of a given culture through its idiocultural conceptualization. This occurs by questioning the culture bearers themselves. The ethnologist aims

to set aside temporarily his own cultural background and to adapt his own experience 10 those of the observed individuals in order to recognize the phe-nomena from the viewpoint of the native-born, that is, of the observed culture bearer (Fischer & Zanolli 1968:5).

With this "insider view," pitches can no Ion ger be described simply as "high" or "Iow" but rather must be described appropriately 10 each culture, for example as "smalI" and "Iarge" tones, or as "bright" or "gloomy," etc. A concept such as "music" can no !onger be applied as naturally intersubjective. It must be replaced with culture-specific concepts and con-ten!. Systems 01 musical instrument classification must be presented ac-

58 . the wcrld cf music 35(1) - 1993

cording to the culture-specilic criteria 01 categorization, wh ether that means on the basis 01 the material Irom which the instruments are made, the nature 01 the vibrating material or the principle of playing technique. The intentional level 01 observation will give expression to the musical concepts of other cultures in terms 01 their own concepts and thoughts (cf. Baumann 1981 :16-9). But such an emically conceived ethnography as intentional construction remains in its own way specifically "ethnocentric" and basically overlooks the dialogue principle in the encounter of cultures that was already a given from the beginning. Still, as a means 01 sell-guidance and sell-contral, this concept-just as the dichotomy between emic-etic-has its methodological justification.

The goal 01 ethnomusicology is to obtain emic as weil as etic (transcultural) knowledge. In terms 01 knowledge theory, however, both per-spectives stand-as already mentioned in the beginning-in a relationship of complementary reciprocity to one other. The case 01 "Iistening" demon-strates with a few examples how "emically" won knowledge gives new life to the "etic" posing 01 questions. Conversely, it is also the questioning brought Irom outsiders which translorms the idiocultural sell-estimation and value concepts 01 individuals and groups. Whether this lalter achieves positive or negative effects can only be decided with a question 01 ~ which lies at the basis of a dialogue Iree 01 domination by one side or the other and which is aware 01 the relativity and permeability of perception and reality in both the insider and the outsider views. Only both aspects brought together, that of the insider and the outsider, can produce a transpersonal, holistic inter-pretation and understanding. In the final analysis, the emic-etic dialogue must not lead to the own-cultural or scholarly self-conlirmation, to the crea-tion 01 absolute truths or to the cementing of relationships of domination. As emic-etic dialogue, the knowledge process cannot refer absolutely to de-limitation or exclusion, but rather must in the end serve those walking on the border dividing the two sides. In the interpretive process the "emic" as weil as "etic" perspectives are conceived as parts which deline, specity and complement each other. In the perspective of participation and interpreta-tion, subject and object are inseparably bound to one another:

This interdependence becomes clear in that I can never begin with a pure, uncontaminated presentation 01 one or the other and, no matter where I begin to describe, I have to deal to some degree wilh a Iractal that only rellecls whal I do: Ihis is 10 describe (Varela 1990:307-8).

Baumann. Listening as an EmiclEtic Process' 59

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Documents

Listening as an Emic/Etic Process in the Context ofObservation … · 2020. 2. 15. · Operable emic-etic definitions according to Lett (1990: 130-1) The emie construction aims to